本文選題：GATS + 審慎例外��； 參考：《西北大學》2011年碩士論文

【摘要】：審慎例外是GATS《關(guān)于金融服務(wù)附件》的核心內(nèi)容,對其研究意義非凡。但學界在如何理解審慎例外條款、如何理解審慎例外與一般例外、安全例外和具體承諾的區(qū)別、如何認定審慎例外的性質(zhì)和特點、為何審慎例外的適用對平衡金融自由化與金融監(jiān)管有積極作用和我國應該如何合理地適用審慎例外等問題上的研究上不充分,這給了本文研究的空間。 本文在分析學界成果的基礎(chǔ)上,通過法理分析、材料分析和理論推導等方式,闡述并分析了審慎例外的判定標準,提出了對審慎原因判定的新標準——危機性標準；在辨析法律原則與法律規(guī)則區(qū)別的基礎(chǔ)上,分析并論證了審慎例外的法律規(guī)則性質(zhì)；在比對分析的基礎(chǔ)上總結(jié)了審慎例外與一般例外、安全例外和具體承諾的主要區(qū)別；在歸納總結(jié)的基礎(chǔ)上,論述了審慎例外所具有的臨時性、自發(fā)適用性、高度靈活性、限制性、防御性和對GATS其他規(guī)則的高度否決力,六個主要特點；在分析和把握我國金融抑制狀態(tài)和金融自由化背景下金融脆弱性增長的基礎(chǔ)上,論證了金融自由化與金融監(jiān)管應保持齊頭并進發(fā)展的態(tài)勢；通過全文的論證分析,本文提出了以我國的具體承諾為基礎(chǔ),適用審慎例外填補具體承諾滯后性和風險性方面的漏洞和充分并正確地運用審慎例外以有效防范金融制度變革中產(chǎn)生的風險,這兩點對我國適用審慎例外規(guī)則的建議。
[Abstract]:Prudential exception is the core content of GATS's Financial Services Annex, which is of great significance to its research. However, how to understand the prudential exception clause, how to understand the distinction between prudent exception and general exception, security exception and specific commitment, and how to determine the nature and characteristics of prudent exception, Why the application of prudential exception has a positive effect on balancing financial liberalization and financial supervision, and how to apply prudential exception reasonably in our country is not sufficient, which gives the space for this article to study. Based on the analysis of academic achievements, this paper expounds and analyzes the criterion of prudential exception by means of legal theory analysis, material analysis and theoretical derivation, and puts forward a new criterion for judging prudential reasons-crisis standard. On the basis of distinguishing the legal principle from the legal rule, this paper analyzes and proves the nature of the legal rule of the prudent exception, summarizes the main differences between the prudent exception and the general exception, the security exception and the concrete promise on the basis of comparative analysis. On the basis of summing up, this paper discusses the six main characteristics of prudent exception: temporary, spontaneous applicability, highly flexible, restrictive, defensive and highly vetoing to other rules of GATS. On the basis of analyzing and grasping the financial fragility growth under the background of financial suppression and financial liberalization, this paper demonstrates that financial liberalization and financial supervision should keep pace with each other. Based on China's specific commitments, this paper proposes to apply prudential exceptions to fill gaps in lag and risk of specific commitments and to make full and correct use of prudential exceptions in order to effectively prevent the risks arising from the reform of the financial system. These two points recommend the application of the prudential exception rule to our country.
【學位授予單位】：西北大學
【學位級別】：碩士
【學位授予年份】：2011
【分類號】：D996.1

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